Division of Risk, Strategy and Financial Innovation

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  Timing of SEC Fiduciary Rule in Flux

  By Melanie Waddell, AdvisorOne  |  January 13, 2012

  SEC Chairman Schapiro says agency's economists plan to ask public for more data on retail financial advice. How long will this take?

• Internal Changes at SEC’s Exam Division

  By Melanie Waddell, AdvisorOne  |  November 28, 2011

  As uncertainty remains in the debate over whether an SRO should oversee advisors—and a new option of using outside auditors for advisor exams in lieu of an SRO was recently thrown into the mix—changes are afoot within the SEC’s exam division.

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  Senate to Grill SEC Chiefs at Oversight Hearing

  By Melanie Waddell, AdvisorOne  |  November 10, 2011

  A Senate Banking Subcommittee plans to hold a hearing on Nov. 16 on management and structural reforms at the SEC, with Robert Khuzami and others facing off with the Senators.